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US Services

Cordium’s US consulting team provides investment advisers and broker dealers with various levels of tailored compliance and regulatory support services on a global level.

Operating under the guiding principle of building long term relationships with our clients and never compromising on quality or standards, Cordium works directly with investment managers and broker dealers to help them successfully navigate the complex US regulatory environment.

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  • Strategic Regulatory Response Program

    If not planned for in advance, or proactively managed, investigations can be a drain on internal resources, cost millions of dollars in legal fees, impact morale and significantly affect the focus of an advisor, impacting its ability to operate as a fiduciary. The key is to be prepared and plan ahead.

  • service iconInvestment Adviser Compliance

     

    Cordium’s investment adviser consulting services enable you to focus more on running your business while we concentrate on making sure that the regulatory issues applicable to your firm are properly addressed.

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  • service iconDue Diligence Support

     

    High-quality research and risk management support services for clients’ potential and ongoing investments. The trained research team performs extensive non-investment background research, as well as AML reviews and enhanced due diligence on individuals and entities.

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Related Resources

  • Learn About Our Software

    Cordium's software team creates practical compliance software to keep your business on track

  • Knowledge Resources

    We've always been at the forefront of regulatory thinking and have constantly evolved our knowledge and practices to match growing regulatory demands

  • Testimonials

    We pride ourselves on delivering exactly what our clients need. See what what our clients have to say about us